TRICIDA, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 12 rows in 2022. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2022-08-05: Reporting owner Yoshiyama Annie; Form 4; Security Employee Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2022-06-15: Reporting owner COUFAL SANDRA I; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2022-06-15: Reporting owner Alpern Robert J; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2022-06-15: Reporting owner Hirsch David; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2022-08-05 | Yoshiyama Annie Officer (Senior VP, Finance and CAO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,000 14,000 owned after | $10.86 exercise price | 2022-08-09 | |
| 2022-06-15 | COUFAL SANDRA I Director, 10% Owner | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +27,207 27,207 owned after | $9.87 exercise price | 2022-06-16 | |
| 2022-06-15 | Alpern Robert J Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +27,207 27,207 owned after | $9.87 exercise price | 2022-06-16 | |
| 2022-06-15 | Hirsch David Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +27,207 27,207 owned after | $9.87 exercise price | 2022-06-16 | |
| 2022-06-15 | Bonita David P Director, 10% Owner | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +27,207 27,207 owned after | $9.87 exercise price | 2022-06-16 | |
| 2022-06-15 | VEITINGER KLAUS R DR Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +27,207 27,207 owned after | $9.87 exercise price | 2022-06-16 | |
| 2022-06-15 | FALBERG KATHRYN E Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +27,207 27,207 owned after | $9.87 exercise price | 2022-06-16 | |
| 2022-02-28 | Yoshiyama Annie Officer (VP, Finance and CAO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +86,000 86,000 owned after | $7.96 exercise price | 2022-03-02 | |
| 2022-02-28 | McKague Robert Officer (EVP, General Counsel) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +256,000 256,000 owned after | $7.96 exercise price | 2022-03-02 | |
| 2022-02-28 | Otto Dawn Parsell Officer (EVP, Clinical Development) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +256,000 256,000 owned after | $7.96 exercise price | 2022-03-02 | |
| 2022-02-28 | Parker Geoffrey M. Officer (COO, CFO and EVP) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +256,000 256,000 owned after | $7.96 exercise price | 2022-03-02 | |
| 2022-02-28 | KLAERNER GERRIT Director, Officer (President and CEO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +511,000 511,000 owned after | $7.96 exercise price | 2022-03-02 |